For more in depth information, please contact your dedicated Transition Coordinator. If you do not yet have a Transition Coordinator, feel free to contact us at 1-800-345-8041.
Approximately 300 financial professionals.
Our clearing relationship is with Pershing, LLC, a subsidiary of The Bank of New York Mellon Corporation.
Yes. Where you locate your office is completely up to you.
Yes. Financial advisors can use The Investment Center brand or a unique DBA of their choosing.
Yes. Many Investment Center advisors have large staff including other registered representatives.
If you are moving from another independent environment, in most cases your clients belong to you and can follow you through a Broker/Dealer change. If you are coming from a wirehouse or a captive environment, there may be restrictions based on non-compete or non-solicitation clauses in your prior contract. It's important to be aware of your prior firm's privacy policy and your ability to bring customer information; we can help you explore what options may be available. If you've developed a solid client base through strong relationships with clients, you should be able to count on an even more robust client base as an independent financial advisor.
At The Investment Center, your book of business belongs to you. If you decide to leave, or if it's time to retire, you can take your book of business with you or sell it.
The Investment Center provides you with a very large variety of investments, financial planning, fee-based services, insurance, wealth management, and banking products. Talk to your Transition Coordinator early on if there is a particular product or service you are concerned about.
We have no proprietary products. You will never be influenced to do anything that's not in your clients' best interests. In short, there are no sales quotas, account size restrictions, product pushes or ticket charges designed to influence your decisions. At The Investment Center, you can offer the products that you believe are best for each client; the product decision is completely yours.
Yes, you have the freedom to do direct mutual fund and insurance business. Mutual funds and variable annuities are processed post review.
Yes, you may continue to use your general agency to sell traditional fixed insurance products. In addition, The Investment Center has a number of general agency agreements that may offer competitive products as well.
We take a very personalized approach to transition management. And we know a smooth, successful transition begins with support, which is why we assign a dedicated Transition Coordinator who personally devotes their attention and expertise to each step of your transition process, from technical support to marketing and all areas in between. Our goal is to get you back to doing what you do best, serving clients, as quickly as possible, often in just a few weeks.
Our Licensing Department will be able to transfer your license immediately upon receipt of your updated Form U-4 and any applicable registration fees provided your disciplinary history is clear. The Licensing Department will keep you updated as your approval process is completed by each state.
The account transfer process begins with the completion of a New Account Form and a transfer form called an ACAT (Automated Client Account Transfer). Your client's signature is required to authorize the transfer of securities. Both the delivery of documents and The Investment Center's processing of the forms play a role in the electronic transfer of accounts, which typically takes no more than five business days to complete.
All broker-dealers require a form of re-papering to meet books and records requirements, and to complete client identification checks. The Investment Center is no different when re-papering brokerage or directly held accounts, but our re-papering solutions and leading edge technology allow for streamlined strategies to aid your re-papering effort.
Advisors here truly have freedom; it's a key part of our advisor-oriented culture, even when it comes to marketing. You are in control, and we'll support you every step of the way with an award-winning, in-house marketing department that can set your business apart in a crowded marketplace. Gain time and confidence with a compliance team that's dedicated to marketing initiatives. Brand your practice and watch revenues grow. Get the best value on websites, newsletters, print ads, and more; all designed to make your practice stand out. We'll even customize materials to fit your unique needs in your unique market.
From free pre-approved materials to fully-personalized brochures, advertisements and flyers, our large library of marketing materials should have everything you need. Our experienced marketing personnel will work with you one-on-one to customize and tailor each product to your specifications. See the "Growing Your Practice" link at the top of the page for more information.
Our Compliance Team serves as your consultant and counselor on all compliance related matters. They are there to help you preserve your practice so you can focus on your business.
Our Compliance Team will provide periodic inspections, ongoing supervision and a Compliance and Operations policy and procedures manual that details your responsibilities. Also, you will receive periodic updates and training to keep you informed of any pertinent changes to your business. For convenience, the Compliance Team makes this information available online to its advisors for easy access and review.
